Frank Garcia

INSIGHT SECURITIES

Miami, FL

Some features on this profile are disabled

CRD#: 2411924

Professional summary

Frank Garcia III, who also goes by Francisco P (iii) Garcia, Francisco Pedro Garcia III, Frank Garcia, is a registered financial advisor currently at INSIGHT SECURITIES, INC. located in Miami, Florida.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Frank has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Francisco P (iii) Garcia | Francisco Pedro Garcia Iii | Frank Garcia

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) Prosper Inv. & Ins. Solutions, LLC~1100 Brickell Bay Drive Apt. 34-A, Miami, FL. 33131 DBA for Tax Purposes~N~Owner~12/2017~2 hrs/mo~2 trading hrs/mo 2) Insight Securities, Registered Representative, 2018

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Garcia III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Frank Garcia III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 12, 2020 - Present

INSIGHT SECURITIES, INC.

RIA

CRD#: 5611

Miami, FL

Current

September 4, 2018 - Present

INSIGHT SECURITIES, INC.

Office #1: 221 N. Kansas Street Suite 727, El Paso, TX 79901

RIA

CRD#: 5611

El Paso, TX

Past

August 1, 2017 - July 9, 2018

PRUCO SECURITIES, LLC.

CRD#: 5685

Weston, FL

Past

May 13, 2013 - February 2, 2015

INSIGHT SECURITIES, INC.

RIA

CRD#: 5611

MIAMI, FL

Past

May 9, 2013 - February 2, 2015

INSIGHT SECURITIES, INC.

CRD#: 5611

MIAMI, FL

Past

April 28, 2008 - March 19, 2012

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

WESTON, FL

Past

April 21, 2008 - March 19, 2012

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

WESTON, FL

Past

March 5, 2008 - April 8, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MIAMI, FL

Past

February 22, 2007 - April 8, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MIAMI, FL

Past

October 12, 2005 - February 1, 2007

BANIF SECURITIES INC

CRD#: 38913

MIAMI, FL

Past

March 8, 2004 - April 14, 2004

UBS INTERNATIONAL INC.

RIA

CRD#: 107726

MIAMI, FL

Past

June 20, 2003 - April 14, 2004

UBS INTERNATIONAL INC.

CRD#: 107726

NEW YORK, NY

Past

September 9, 2002 - April 15, 2003

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

CRD#: 15654

NEW YORK, NY

Past

March 26, 2001 - November 20, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 15, 1999 - April 5, 2001

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

October 21, 1996 - August 24, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 7, 1994 - November 19, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INSIGHT SECURITIES, INC.

CRD#: 5611 / SEC#: 801-12999, 8-16247

RIA

Registered Investment Advisory firm - SEC (5/25/1977 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(9/5/2018)

IAR

Florida
(2/12/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/27/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/15/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/29/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/6/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

INSIGHT SECURITIES, INC.

CRD#: 5611 / SEC#: 801-12999, 8-16247

RIA

Registered Investment Advisory firm - SEC (5/25/1977 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

600 Central Ave Suite 293, Highland Park, IL 60035

Mailing Address

600 Central Ave Suite 293, Highland Park, IL 60035

Phone number

(224) 632-4700

Established

Delaware since 11/12/1970

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
INTELLIGENICS, INC.	HOLDING COMPANY/STOCKHOLDER
GAAFAR, OMAR JAMES	COO	4916775
KIM, JAMES J	CCO	6040592
LEGASPY, CARLOS JAVIER	PRINCIPAL, PRESIDENT, CEO	2148751
MAKULA, MICHAEL JOSEPH MR.	CFO, FINOP	4643441

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 94,216,934

Disclosures

Regulatory Event	6
Arbitration	1
Bond	5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Frank Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Garcia III's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Frank Garcia III's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSIGHT SECURITIES, INC.

PRUCO SECURITIES, LLC.

INSIGHT SECURITIES, INC.

INSIGHT SECURITIES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

BANIF SECURITIES INC

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

INSIGHT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/27/2019

Series 63

Date: 8/15/1998

SIE

Date: 10/1/2018

Series 3

Date: 1/29/1994

Series 7

Date: 12/6/1993

FINRA

Current Firm

INSIGHT SECURITIES, INC.

Contact information

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INSIGHT SECURITIES, INC.

TRUST BUT VERIFY

Similar Advisors